FINRA Legal Questionnaire

FINRA Legal Questionnaire

This FINRA Legal Questionnaire (the "Questionnaire") is delivered as of Date: by Firm Name: with CRD Number: and Respondent Name: in the capacities described below.

Firm Entity Type: Broker-Dealer Clearing Firm Affiliate

RECITALS

WHEREAS, the Firm seeks to provide full and accurate disclosure to FINRA and other regulatory bodies regarding legal and regulatory matters affecting the Firm and relevant individuals; and

WHEREAS, the Respondent is the person authorized to compile and certify the factual and legal information set forth in this Questionnaire on behalf of the Firm or in an individual capacity; and

WHEREAS, the parties desire to set forth the disclosures, certifications, and continuing obligations of the Firm and Respondent in connection with FINRA or regulatory review.

NOW THEREFORE, in consideration of the mutual representations, warranties and agreements contained herein, the parties agree as follows:

1. INSTRUCTIONS AND CERTIFICATION

The Respondent shall answer each question fully and accurately. For any question answered "Yes," the Respondent shall provide a detailed description, including dates, jurisdictions, case numbers, parties, outcomes, and copies of any charging documents, settlement agreements, orders, judgments or other relevant documents attached as Schedules to this Questionnaire. By signing below, the Respondent certifies under penalty of law that the information provided is true, complete and correct to the best of the Respondent's knowledge and that the Respondent understands that willful false statements may subject the Respondent and the Firm to disciplinary action by FINRA and civil or criminal penalties.

2. DISCIPLINARY AND REGULATORY MATTERS

2.1. Has the Firm or any associated person (including principals and control persons) been the subject of any regulatory investigation, enforcement action, fine, suspension, censure, revocation, or other disciplinary proceeding by any securities regulator, exchange, clearing agency, state or federal agency in the last ten (10) years? Yes No

2.2. Has the Firm or any associated person consented to or entered into any settlement, stipulation, or order that includes a finding of misconduct or required any undertaking? Yes No

3. CRIMINAL, CIVIL, BANKRUPTCY AND LITIGATION MATTERS

3.1. Has the Firm or any associated person been charged with, convicted of, or pleaded guilty or nolo contendere to any felony or misdemeanor involving fraud, dishonesty, breach of trust, or securities law violations in any jurisdiction? Yes No

3.2. Are there any pending or threatened material civil lawsuits, arbitration claims, or administrative proceedings against the Firm or any associated person that relate to securities activities? Yes No

3.3. Has the Firm, any associated person, or any affiliate filed for bankruptcy within the last ten (10) years? Yes No

4. FINANCIAL AND OTHER MATERIAL OBLIGATIONS

4.1. Are there outstanding judgments, tax liens, or material unsatisfied monetary obligations owed by the Firm or any control person that may adversely affect the Firm's financial condition or ability to conduct securities business? Yes No

5. COMPLIANCE, POLICIES AND INTERNAL INVESTIGATIONS

5.1. Does the Firm maintain written compliance policies and procedures reasonably designed to ensure compliance with securities laws and FINRA rules? Yes No

5.2. Are there any ongoing internal investigations concerning potential misconduct, compliance failures, or suspicious activity that have not been reported to any regulator? Yes No

6. CONFLICTS, OUTSIDE BUSINESS ACTIVITIES, AND CONTROL RELATIONSHIPS

6.1. Does any control person or associated person maintain outside business activities, ownership interests, or relationships that could present conflicts of interest with the Firm's securities business? Yes No

7. REPRESENTATIONS, WARRANTIES AND COVENANTS

7.1. The Firm represents and warrants that all information, documents, and attachments provided with or referenced in this Questionnaire are true, complete, and authentic, and that no material fact has been omitted. The Firm further warrants that it will supplement this Questionnaire promptly upon discovery of any new or changed fact that renders any response materially incomplete or inaccurate.

7.2. The Respondent covenants to cooperate fully and to produce promptly, upon request, any additional documents, records or testimony reasonably required by FINRA or any other regulatory authority conducting an inquiry related to the matters disclosed herein.

8. CONTINUING OBLIGATIONS

The Firm and the Respondent acknowledge that the obligation to disclose material legal or regulatory developments is ongoing and shall continue until such time as the Firm is no longer subject to FINRA reporting obligations. The Firm shall notify the designated notice address below within seven (7) calendar days of any event that would require an update to a prior affirmative response.

9. NOTICES

10. AMENDMENTS, WAIVER, COUNTERPARTS

Any amendment to this Questionnaire must be in a writing signed by an authorized representative of the Firm and the Respondent. No failure or delay by either party in exercising any right or remedy constitutes a waiver of that right or remedy. This Questionnaire may be executed in counterparts, each of which constitutes an original and all of which constitute one and the same instrument.

11. GOVERNING LAW; ENTIRE AGREEMENT; SEVERABILITY

This Questionnaire shall be governed by and construed in accordance with the laws of the State specified by the Firm: , without regard to principles of conflicts of law. This Questionnaire constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior oral or written statements. If any provision of this Questionnaire is held invalid or unenforceable, such invalidity shall not affect the remaining provisions, which shall continue in full force and effect.

12. ATTACHMENTS AND SCHEDULES

The Firm attaches and incorporates by reference the following Schedules and documents: List of associated persons, copies of orders/settlements, policy manuals, internal investigation reports, bankruptcy filings, judgments, and other relevant documents. If additional space is necessary, attach separate schedule pages and clearly reference the question number.

CERTIFICATION

By signing below, the undersigned certify and warrant that they are authorized to provide the foregoing responses on behalf of the Firm (or in the case of an individual Respondent, on their own behalf), that the answers are true, complete and correct, and that they understand the obligations to supplement and cooperate as set forth in this Questionnaire. The undersigned further acknowledge that FINRA or other regulators may rely upon the statements and documents provided herein.

Sign Now